Q&A with Kirsten Garrett, CHRO, Confluence With over two decades of human resources leadership experience, Kirsten Garrett is an accomplished......
As we leave 2022 behind and 2023 begins, make sure you didn’t miss a thing last year with this recap of our top insights....
Identity theft is on the rise, and the U.S. Securities and Exchange Commission has taken notice of weaknesses in registered investment advisers’ controls....
COP27, the UN’s annual climate change conference held this year in Egypt from 6 to 18 November with about 100 heads of state in attendance......
This blog was originally published at Markets Media on October 7, 2022. Sustainable investing disclosures in the U.S. are currently governed by general fraud prohibitions in advertising and not by formal...
The SEC's new Marketing Rule that came into effect last year expanded the definition of advertising. It allows for marketing via new channels and enhances existing disclosure requirements. It will have significant compliance ...
Author: E.J. Yerzak, Director, Cyber IT Services, CSS, a Confluence company The dust has barely settled on the U.S. Securities......
“I am superior, sir, in many ways. But I would gladly give it up to be human.” - Data It’s an observation made by the fictional lieutenant commander in the 1987 pilot episode of Star Trek – The Next Generation...
By Shane Flatman, Senior Product Manager – Compliance, Reporting, and Services, CSS, A Confluence Company The Sustainable Finance Disclosure Regulation (SFDR)......
Author: Shane Flatman, Senior Product Manager Compliance, Reporting and Services. Conversations with investment firms, management companies, fund administrators and industry attorneys have ramped up......
By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public comment on......
Regulatory frameworks are quickly emerging to standardize the reporting and disclosure of ESG metrics across as many as 140 jurisdictions around......
Cyber risk for financial firms is about to get a lot more regulated. Announcing its most recent Regulatory Flex Agenda......
ESG investing is at the forefront of the industry and with ESG-related regulations coming soon, having a streamlined ESG strategy in place is key for building and retaining competitive advantages....
By Victoria Olson, CRCP, Senior Consultant Compliance Services Reading enforcement actions against investment advisers serves two purposes for me: (1)......
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In 2017, the SEC examined 2,114 investment advisers, approximately 15 percent of the 14,000+ registered investment advisers, the SEC confirmed…
CSS company Advise Technologies announced today that it won “Best RegTech Solution” at the 2018 HFM US Hedge Fund Technology…
A Jan. 12 article in HFMCompliance titled “Best practice for hedge funds using hypothetical and model performance” outlines best practices for hedge…
On February 7, 2018, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) issued their 2018 Examination Priorities (see Ascendant’s…
SEC Chairman Jay Clayton had some stern advice for market professionals, especially gatekeepers, who he said need to act responsibly and…
The key portion of the SEC’s 2018 priorities for advisers was devoted to the protection of retail investors, including seniors and those saving for retirement.
Regulators continue to see firms failing to sufficiently tailor off-the-shelf compliance programs.
GDPR is not a financial regulation, but has the potential to profoundly impact the operations of financial firms abroad and in the U.S.
Ascendant is proud to have several team members honored by being shortlisted for C5’s 2018 Women in Compliance Awards. The…
Summary of Changes in the New Form ADV Questions and Answers Focus on Separately Managed Accounts Your Plan of Action…
CSS Chief Regulatory Officer Jeanette Turner was quoted in a recent Ignites article on how “Tech Transforms Compliance Role in…
On Friday, December 8, 2017, the SEC issued a Temporary Rule that provides a nine-month delay of the filing dates…